Filing Details

Accession Number:
0000947871-17-000520
Form Type:
4
Zero Holdings:
No
Publication Time:
2017-06-30 17:02:52
Reporting Period:
2017-06-28
Filing Date:
2017-06-30
Accepted Time:
2017-06-30 17:02:52
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
704051 Legg Mason Inc. LM Investment Advice (6282) 521200960
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1318400 Ltd Media Shanda No. 1 Office Building, No. 690
Pudong, New Area
Shanghai F4 201203
No No Yes No
1633666 Ltd Group Investment Shanda 8 Stevens Road
Singapore U0 257819
No No Yes No
1633667 Shanda Technology Overseas Capital Co. 8 Stevens Road
Singapore U0 257819
No No Yes No
1672562 Ltd Investment Management Asset Shanda 8 Stevens Road
Singapore U0 257819
No No Yes No
1677229 Qiao Tian Chen 8 Stevens Road
Singapore U0 257819
Yes No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock, $0.01 Par Value Disposition 2017-06-28 4,232,500 $38.43 5,567,653 No 4 S Indirect See Footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 S Indirect See Footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock, $0.01 Par Value 3,383 Direct
Footnotes
  1. The securities set forth in this Form 4 are directly held by Shanda Asset Management Investment Limited. Mr. Tianqiao Chen is the sole shareholder of Shanda Media Limited. Shanda Media Limited owns 70% of all outstanding and issued shares of Shanda Investment Group Limited which is the sole shareholder of Shanda Technology Overseas Capital Company Limited. Shanda Technology Overseas Capital Company Limited is the sole shareholder of Shanda Asset Management Investment Limited. Following the sales reported on this Form 4, the Reporting Persons beneficially own less than 10% of the Common Stock of the Issuer.
  2. Common Stock granted pursuant to and under the conditions of the Legg Mason, Inc. Non-Employee Director Equity Plan, as amended. See Appendix A to the definitive proxy statement for Legg Mason Inc.'s 2013 Annual Meeting of Stockholders.